Personnel Hong Kong SFC License Details (ID 99682)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Seazen Resources Asset Management Limited	RO	Advising on securities	2017-08-30	2019-11-15
	RO	Dealing in securities	2017-08-30	2019-11-15
Seazen Resources Futures Limited	RO	Dealing in futures contracts	2017-08-30	2019-11-15
Seazen Resources Securities Limited	RO	Dealing in securities	2017-08-30	2019-11-15
CLC FUTURES LIMITED	RO	Advising on futures contracts	2014-10-29	2017-06-27
	RO	Dealing in futures contracts	2014-10-29	2017-06-27
CLC SECURITIES LIMITED	RO	Advising on securities	2014-05-16	2017-06-27
	RO	Dealing in securities	2014-05-16	2017-06-27
Soochow Securities International Futures Limited	RO	Advising on futures contracts	2012-08-27	2014-03-07
	RO	Dealing in futures contracts	2012-08-27	2014-03-07
Soochow Securities International Brokerage Limited	RO	Advising on securities	2012-08-20	2014-03-07
	RO	Dealing in securities	2012-08-20	2014-03-07
PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED	RO	Advising on futures contracts	2012-03-30	2012-07-24
	RO	Dealing in futures contracts	2012-03-30	2012-07-24
Ping An Securities (Hong Kong) Holdings Company Limited	RO	Dealing in securities	2011-09-28	2012-07-24
	Rep	Dealing in securities	2011-09-08	2011-09-28
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	Dealing in futures contracts	2011-02-24	2011-09-01
	RO	Dealing in securities	2011-02-24	2011-09-01
	Rep	Dealing in futures contracts	2011-02-11	2011-02-24
	Rep	Dealing in securities	2011-02-11	2011-02-24
	Rep	Asset management	2011-02-11	2011-09-01
ENLIGHTEN SECURITIES LIMITED	RO	Dealing in securities	2010-02-08	2011-01-04
Arta Asset Management Limited	Rep	Asset management	2009-05-12	2011-01-04
	RO	Dealing in securities	2008-10-15	2011-01-04
ENLIGHTEN FUTURES LIMITED	RO	Dealing in futures contracts	2008-01-15	2011-01-04
	Rep	Dealing in futures contracts	2006-05-03	2008-01-15
ENLIGHTEN SECURITIES LIMITED	Rep	Dealing in securities	2006-05-03	2010-02-08
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Dealing in futures contracts	2006-01-12	2006-02-14